Compliance Officer Asset Management Compliance

Compliance Officer (Asset Management Compliance)

About our client:
- A Hong Kong-based asset management firm

Location:
- Hong Kong

Responsibilities:
- Overall Compliance Affairs: Responsible for the daily compliance operations and overall compliance matters of the asset management company, ensuring full adherence to the relevant regulations of the Hong Kong Securities and Futures Commission (SFC).
- Product & Trade Monitoring: Assist in the launch of fund/asset management products, and perform compliance monitoring and review of daily trading, investment recommendations, and research reports.
- Regulatory & External Liaison: Handle day-to-day communications with regulatory authorities, and coordinate external audits/internal remediation work for the asset management company as required.
- Core Compliance & Risk Control: Oversee professional investor assessment (PI), AML/KYC due diligence, investor onboarding, compliance training, and suitability assessments and trigger-event handling for wealth management clients.
- Internal Policy Updates: Monitor staff personal trading, and regularly update and enhance the company's internal compliance management systems and procedures.

Pre-requisites:
- Work Experience: Approximately 1–5 years of relevant compliance experience in Hong Kong financial institutions.
- Preferred Qualifications: Candidates with experience in serving U.S. clients or familiarity with relevant offshore compliance requirements will be given priority.
- Education: Recognized full-time bachelor's degree or above, preferably in Law, Finance, Economics, or related fields. A law degree or relevant compliance certification is an advantage.
- Risk Management Capabilities: Familiar with Hong Kong and mutual recognition regulatory frameworks, laws, and operational rules. Solid experience in credit risk management, credit rating/assessment, and the ability to independently conduct compliance reviews and credit analysis.
- Language & Work Authorization (Hard Requirements): Fluent in Mandarin; proficient in written and spoken English and Chinese. Must hold a valid Hong Kong work visa or Hong Kong permanent resident status.